Approved IAR CE Courses

This course provides a practical, fiduciary-focused introduction to private markets and alternative investments tailored for investment adviser representatives (IARs) and related professionals. Participants will explore the fundamental characteristics of private equity, private credit, hedge funds, and real assets, along with key implementation considerations such as liquidity budgeting, risk management, and client suitability. The course also covers fund structures, fees, and manager due diligence, emphasizing the advisor's role in balancing access with fiduciary responsibilities. Additional modules address real-world challenges including capacity constraints, proprietary product conflicts, and regulatory expectations. Designed for professionals with limited background in alternatives, the course delivers accessible, actionable education aligned with current advisory practices.

Between life insurance, disability insurance, and long-term care insurance, insurance planning can be the focus of financial planning engagements when clients need to address gaps in their risk management. However, when addressing these risk management concerns, advisors commonly make the mistake of helping clients move forward with applying for insurance without proactively planning for the application process. This can lead clients to have a tougher application process and higher premiums that could have been planned for in advice. Carolyn McClanahan, MD, CFP' gives advisors the inside scoop on coding in medical records and their impact on client medical histories, common illnesses and their impact on insurability, and how to proactively plan for insurance applications to minimize insurance premiums for clients.

Conducting a plan presentation meeting process can be the difference between recommendations that gather dust and strategies that transform clients' financial futures. Yet, many advisors struggle to move beyond simply delivering complex analyses to creating compelling, actionable presentations that inspire client confidence and commitment. This critical gap in the planning process often results in delayed implementations, client hesitation, and missed opportunities to demonstrate true advisory value. This course provides a comprehensive framework to overcome that challenge by equipping advisors with practical strategies to lead more engaging and effective plan presentation meetings. Advisors will learn proven techniques for structuring collaborative presentations, translating complex recommendations into clear client benefits, and securing meaningful implementation commitments. Through demonstrations and application-based learning, participants will develop the skills to transform technical planning work into collaborative and actionable client conversations to create the foundation for swift implementation, enhanced client trust, and successful long-term financial plans.

This self-study course equips Registered Investment Advisers and Investment Adviser Representatives with practical tools to establish and maintain professional boundaries while strengthening client relationships. Using current NASAA and SEC expectations as the ethical and regulatory backbone, the course clarifies role boundaries, highlights risks of boundary erosion, and translates rules into everyday practices across modern communication channels. Through scenarios and policy templates, learners will practice identifying red flags, resolving boundary challenges, documenting decisions, and building firmwide procedures that promote trust, fairness, and compliance.

This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP' professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019. In this engaging and thought-provoking webinar on CFP ethics, Shelitha Smodic will delve into the ethical considerations and responsibilities of Certified Financial Planners. Explore the intricate balance between client relationships, fiduciary duty, and personal integrity, as we navigate the complex ethical landscape in the financial industry.

This course explores the transformative power of DEI within financial advisory firms, emphasizing its ethical implications and strategic advantages. Participants will gain a deeper understanding of how DEI principles foster innovation, enhance client relationships, and create equitable opportunities for employees. Through real-world case studies, actionable strategies, and regulatory insights, the course provides tools to integrate DEI into workplace cultures, client interactions, and long-term business strategies. This course empowers advisors, leaders, and compliance professionals to drive meaningful change, and position their firms as leaders in inclusivity and equity. By the end of the course, participants will be equipped with the knowledge and tools to create a more equitable financial ecosystem that benefits employees, clients, and the broader community

To heighten the standard of conduct for broker-dealers, and their registered representatives, the SEC introduced Regulation Best Interest (Reg BI). Reg BI holds broker-dealers and their representatives to a set of standards that exceed suitability requirements. Reg BI requires broker-dealers and their reps to act in their retail customers' best interest when a recommendation is made, without placing the interests of the firm ahead of their customers' interests. Reg BI alsorequires firms to either eliminate or disclose and mitigate, conflicts of interest. This course describesRegulation BI in detail, including who it applies to as well as the obligations that it carries. The course also compares Regulation BI to the suitability standard that has been required for broker-dealers, and to the fiduciary standard standard that is required for investment advisers and their representatives. The course also describes the content, goals, and scope of the new Form CRS. The course ends with a discussion of compliance issues related to Reg BI and Form CRS.

This course is intended for investment adviser representatives, and provides an in-depth review of financial exploitation of senior adults and how investment advisers can identify and prevent it. It includes five sections that focus on defining financial exploitation, risk factors of seniors, perpetrators of financial exploitation, identifying and responding to suspected exploitation, and suggested business practices for preventing financial exploitation.